Supervision Analyst

Position overview

The Supervision Analyst will support the Supervision team in daily oversight activities, data analysis, and process improvement initiatives. This is a hands-on role focused on executing supervisory routines, enhancing data-driven monitoring, and contributing to efficiency and automation projects. 

This position plays a key role in maintaining a strong control environment while helping scale supervisory processes through improved reporting, workflow optimization, and technology enablement. 

Key Responsibilities:

• Assist with daily supervisory reviews (trades, blotters, alerts, and sales practices) 


• Support account activity monitoring to identify exceptions, trends, and risks 


• Execute assigned supervisory routines accurately and on time 


• Assist with error tracking and documentation 


• Assist in analyzing supervisory data to identify patterns, anomalies, and control gaps 


• Prepare and enhance reports and dashboards for management 


• Partner with IT teams to improve data quality and reporting processes 


• Support automation and efficiency initiatives within the Supervision function 


• Contribute to workflow optimization and process standardization 


• Maintain and update desktop procedures and control documentation 


• Assist in scaling supervisory processes through technology and data solutions 


• Collaborate with Compliance, Legal, Operations, Risk, and IT teams 


• Support audits, exams, and remediation efforts 


• Assist with ongoing reviews and new product processes as needed 

Required Qualifications

• Bachelor’s degree in Finance, Business, Economics, Data Analytics, or related field 


• 1–3 years of relevant experience (financial services, supervision, compliance, operations, or analytics) 


• Strong data analytics skills (advanced Excel required; or other analytical tools a plus) 


• High attention to detail and strong organizational skills 


• Ability to manage multiple priorities across daily tasks and projects 


• Strong communication and collaboration skills 


• Basic knowledge of broker-dealer operations and U.S. regulatory framework (FINRA/SEC) 


• Experience with trading, supervision, or control environments 


• Portuguese and/or Spanish 


• FINRA licenses (Series 99, 7 or 63) preferred. Candidates that do have the licenses, must obtain within 6 months of hire. 

Salary Range - 90-110k

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